This paper appeared in Learning and Individual Differences, 10, 179-191 (1999)
Does the study of autism justify
minimalist innate modularity?
Simon Baron-Cohen
Departments of Experimental Psychology and Psychiatry
University of Cambridge
Downing St, Cambridge, CB2 3EB, UK
1
Acknowledgements: The author was supported by the Medical Research Council and
the Wellcome Trust during the preparation of this work.
2
Abstract
Innate modularity is the big question for cognitive neuroscience. One proposal is that a
‘theory of mind’ is a species-specific (human) example of an innate module.
The
evidence from the genetic, neurodevelopmental, psychiatric condition of autism is
considered, to examine if the innate modularity claim is justified.
At the opposite
extreme, explanations of autism in terms of deficits in a general learning mechanism are
considered. It is concluded that both of these extreme positions may be untenable, and
instead there may be some justification for an intermediate model of social perception:
minimalist innate modularity.
3
Introduction
The study of autism has been the battleground for modularity and anti-modularity
theorists. On the side of modularity are scientists who view the theory of mind deficit in
autism as evidence for some form of modularity (Baron-Cohen, 1995; Happe & Frith,
1996; Leslie, 1991). On the side of anti-modularity are those who only recognise the
brain as a general learning mechanism such as (Mackintosh, McLaren, Plaisted); or those
theorists such as Russell (Russell, 1997a) and Pennington (Pennington et al., in press),
who view the theory of mind deficit in autism as part of a broader deficit in higher order
cognitive processes such as executive function (Shallice, 1988). In some senses, this
battle is simply an example of the wider battle in cognitive neuroscience, since ultimately
everyone in the larger field needs to take a position on whether modules exist, or what if
anything is innate in the cognitive system. Although this article focuses on the arguments
in relation to theory of mind being modular (using evidence from autism), readers can
easily apply these arguments in relation to language (using evidence from language
disorder) or in relation to other domains. First, we introduce autism and the theory of
mind hypothesis.
Background: Autism and the theory of mind hypothesis
Autism is considered to be the most severe of the childhood neuropsychiatric conditions.
It is diagnosed on the basis of abnormal development of social behaviour,
communication, and imagination, often in the presence of marked obsessional, repetitive,
4
or ritualistic behaviour (APA, 1994). The theory of mind hypothesis states that children
with autism are impaired in the development of the ability to appreciate their own and
other people's mental states - such as their beliefs, desires, intentions, knowledge,
pretence, and perception - and the links between mental states and action. Because of the
importance of a theory of mind (henceforth ToM) in normal social interaction, social
understanding, imagination and communication, a deficit in the development of a ToM is
a powerful way to explain abnormalities in these areas in autism. First-order theory of
mind tests involve inferring what one person thinks, knows, intends, desires, etc. The
majority of children with autism are at chance on such tests. 21 tests are summarized
highly concisely in Table 1.
By way of illustration, one of these is described in more detail: the “seeing leads to
knowing” test. This was originally developed by Chris Pratt and Peter Bryant (Pratt &
Bryant, 1990). They presented a story (using dolls) to 3-4 year old normally developing
children. The story is short and illustrated in Figure 1. Thus, Sally and Anne are
introduced, and the subject is told that Sally touches the box, whilst Anne looks inside
the box. The subject is then asked “Which one knows what’s inside the box?” Pratt and
Bryant found that normal 3-4 year old children could correctly identify the character who
knows what’s in the box (in this example, Anne). If you ask the normal child of this age
why they chose Anne, they can say, “Well, she knows, because she looked.” In passing
this test, children are thus demonstrating their understanding of a corner-stone of their
theory of mind, namely the principle that seeing-leads-to-knowing. When this same test
was given to a group of children with autism, and a second group of children without
5
autism but with mental handicap1, both of whom had a mental age (MA) above 4 years
old, the group with mental handicap passed the test in line with their MA, whereas the
children with autism were significantly impaired on the task. Indeed, they were as likely
to choose Anne as they were to choose Sally, suggesting they did not grasp this principle,
and were mostly guessing. Because this deficit occurred in the presence of sufficient
MA, it is taken as evidence of a specific ToM deficit. Most of the other results in Table 1
reveal a similar pattern of autism-specific, ToM-specific deficit.
insert Table 1 and Figure 1 here
This list of experiments provides strong converging evidence for there being a theory of
mind deficit in autism. For this reason, autism has been conceptualized as involving
“mindblindness” to varying degrees (Baron-Cohen, 1990; Baron-Cohen, 1995).
Brothers’ social brain theory
In an important article in 1990, Leslie Brothers suggested that social intelligence should
be distinguished from other kinds of intelligence, and that social intelligence might have
its own dedicated neural circuitry (involving the amygdala, orbito-frontal cortex (OFC),
and superior temporal sulcus (STS). Evidence for her proposal included the existence of
brain-damaged patients who seemed to show selective impairments in social judgement,
1
Here, we use the term ‘mental handicap’ to refer to children with general developmental delay and below
average IQ. In the UK the term ‘learning difficulties’ is preferred, but in the USA this latter term has a
different meaning. Hence the use of the former term here.
6
lesion studies of the non-human animal brain selectively affecting social behaviour, and
single cell recording studies identifying cells that fire only in response to social stimuli
(such as faces and hands). She referred to these three neural regions as comprising the
“social brain”.
Leslie’s modularity contention
Alan Leslie, independently of Brothers, suggested that there may be a particular part of
the brain which in the normal case is specifically responsible for understanding mental
states, and which is impaired in autism. He proposed this may be modular, and he coined
the term ‘theory of mind mechanism’ (ToMM) as shorthand for this (Leslie, 1991; Leslie
& Roth, 1993; Leslie, 1987). ToMM may be part of the social brain (Baron-Cohen,
1995). Note that the term ‘module’ in this theory is not necessarily defined using all of
Fodor’s 9 criteria (Fodor, 1983); rather, varieties of modularity are conceptualized. But
critically for Leslie and others, at a minimum such modules are in part innate, and
computationally dedicated or specific to a particular class of input. Leslie suggests the
function of the theory of mind mechanism is to represent information in a data-structure
of the following form: [Agent-Attitude-"Proposition"] - eg: [Fred-thinks-"the safe is
behind the Picasso"]. Such a proposal is sufficient to allow representation of the full
range of mental states, in the Attitude slot. Such representations allow one to make sense
of why Fred, a burglar in this example, is seen as lifting the Picasso painting off the wall,
or would enable one to predict where Fred would look in the house.
7
Leslie’s
computational analysis has been widely accepted, but the innate modularity claim is more
controversial (Carruthers, 1996; Russell, 1997b).
Anti-modularity arguments in relation to theory of mind
Arguments against the ToM deficit in autism being proof of modularity are as follows:
1. Circularity - one cannot use autism as both the proof of a ToM deficit and proof this
being modular in the normal case. One needs independent lines of evidence to prove or
disprove the modularity thesis. For example, finding a universal pattern of ontogenesis to
the development of a theory of mind, in normal development, or double dissociations
between theory of mind and executive function in neurological patients, would bolster
the modularity position.
In fact, there is some evidence for universal ontogenetic
similarity (Avis & Harris, 1991).
Double dissociation evidence is also available
(reviewed later).
2. Profligacy - Whilst it may seem parsimonious to explain all the cognitive evidence
showing deficits by positing a ToM module, can this be justified given how complex
such a ToM module would have to be? For example, it would have to store the complete
set of mental state concepts in advance. Anti-nativists should rightly be concerned that
too much may be being built in at the innate level, with insufficient support for this.
8
3. Ignoring the role of learning - we know normal infants and toddlers spend many long
hours engaged in social interaction. Is this just for reasons of attachment and vocabulary
learning, or might this be necessary experience for acquiring a ToM too? If so, might
ToM (modular or otherwise) be acquired rather than innate, or (more likely) an
interaction of both innate and environmental factors? The fact that blind children may be
delayed in the theory of mind development (Brown, Hobson, Lee & Stevenson, 1997), or
that there are birth-order effects in this domain (Perner, Ruffman & Leekam, 1994)
suggests environmental input is important.
Alternative modularity theories
1. Baron-Cohen’s minimalist innate modularity theory
Leslie’s claim is not the only modular theory, and we need to consider the alternatives.
For example, (Baron-Cohen, 1994) suggests lower level perceptual mechanisms extract
relevant social information, which provide critical inputs to developing a ToM. These
mechanisms include an Eye Direction Detector (or EDD) which grabs the infant’s
attention to the eye region of faces and thus provides opportunities for the infant to learn
the significance of gaze as a clue to a person’s mental states; an Intentionality Detector
(or ID) which grabs the infant’s attention to animate actions, providing opportunities for
the infant to learn about goal-directedness; and a Shared Attention Mechanism (or SAM),
which takes inputs from the previous two mechanisms to enable the infant to work out if
s/he and another person are attending to the same thing, thus ensuring that shared foci or
9
common topics are a central experience for the developing infant. ToMM, in this model,
is conceived of either being a more mature development of SAM, or is triggered by
SAM. We might label Baron-Cohen’s model a minimalist innate modularity theory.
Rather than having to postulate ToMM coming fully prepackaged as an innate module,
this minimalist alternative specifies less that is innate - but still specfies some innate
social-information mechanisms.
2. Johnson and Morton’s even more minimalist innate modularity theory
However, once one considers more minimalist versions of the innate modularity theory,
one is forced to take seriously even more minimalist possibilities. Thus, Morton and
Johnson (Morton & Johnson, 1991) do not even go as far as suggesting the existence of
innate mechanisms as complex or as specfic as EDD, ID, and SAM. Instead, they simply
postulate a mechanism called CONSPEC, which grabs the infant’s attention to look at
face-like stimuli. A second innate mechanism (CONLERN) then steers the infant
attentional system to learn all about faces. On this argument, our strong intuition that
looking at eyes is innate does not reflect an EDD, but simply reflects that eyes are parts
of the face that move alot, and CONLERN ensures we track such changeable social
stimuli in order to learn what they predict. On their model, if we have modules like EDD,
SAM, and ToMM, these are acquired, not innate, modules.
Interim summary
10
If we pause at this point, we can summarize the debate so far: Leslie’s proposal of a rich
innate module (ToMM) may be simply the end result of a set of simpler innate modules
(EDD, ID, and SAM:(Baron-Cohen, 1995)); but that even these may be the end result of
yet simpler innate modules (CONSPEC and CONLERN:(Morton & Johnson, 1991)).
Finally, anti-nativists would argue that all of the domains of knowledge we have
discussed so far (knowledge about eyes, intentional actions, theory of mind) may be
modular in the sense of being domains of expertise in the normal system, but these may
just as plausibly be acquired modules, not innate ones (Karmiloff-Smith, 1992).
11
So why not go the whole hog? Why not say there’s no modularity at all?
Those readers who are still engaged by this point might reasonably ask: why stop this
train of argument at an innate CONSPEC or CONLERN? Instead, one could postulate
that even these may be mere endpoints arising out of a general learning mechanism that is
working on input from this particular planet. That is, maybe there is nothing innate in
cognition, and that apparent similarities in development within and across cultures simply
reflect that we are all taking as input into a general learning mechanism information
about the same sort of environment. Our environment, in every culture, is populated by
people with faces, eyes, actions, etc., so unmysteriously, this is what we end up learning
about. This view is certainly alive and well among the learning theorists (Mackintosh,
McLaren, Plaisted). If one really wanted to strive for parsimony, surely the liquidized
soup model of the mind (no innate structure, no lumpy bits) is surely the most attractive
option?
Not quite. For one thing, the no-innate modules view has a hard time accounting for
cases of pure social deficit. Why should someone with good general intelligence (a good
general learning mechanism?) excel in the domain of physics, or maths, or engineering,
and yet have difficulties in the social domain? Cases of Asperger Syndrome (Asperger,
1944) may fit this characterization.
Further problems for the General Learning Mechanism theory
12
The general learning mechanism theorist might also have difficulty accounting for the
following kinds of neurological patients:
(1) Patients with severe SLI (specific language impairment) but with intact ToM
suggesting the potential independence of language and ToM. Van der Lely has reported
one such patient (Van der Lely, 1997).
(2) Patients with impaired executive function (EF) but intact ToM suggesting the
potential independence of EF and ToM. Some patients with Tourette Syndrome meet
this criteria (Baron-Cohen, Robertson & Moriarty, 1994).
(3) Patients with impaired ToM but intact EF. (Baron-Cohen, Stone, Wheelwright &
Rutherford, 1998) describe a single case of a Cambridge University academic with
Asperger Syndrome who had exactly this profile.
(4) Patients with low IQ but intact ToM. Patients with Williams Syndrome can show this
profile (Karmiloff-Smith, Grant, Bellugi & Baron-Cohen, 1995; Tager-Flusberg, Boshart
& Baron-Cohen, in press).
(5) Patients with acquired neurological lesions who lose only mentalizing skills. Some
patients with amygdala or orbitofrontal cortex lesions have been reported to show this
pattern (Stone, Baron-Cohen, Young & Calder, 1998).
13
The above cases strongly suggest modularity of ToM, but are silent on the question of
whether this is innate or acquired modularity.
Testing for minimalist innate modularity in the social domain
How might this debate be resolved through experimental investigation? The following
sorts of evidence would all disprove the general learning mechanism view of the mind
a) If neonates prefer faces. This has in fact been demonstrated over 40 years ago, and
replicated many times (Johnson & Morton, 1991). This stongly implies an innate
attentional bias towards social information.
b) If faces are processed by specific brain regions. This could be acquired modularity,
but if the neural specificity was also found in neonates, this again implies innate
neurocognitive structure to the mind, towards social information, along the lines
suggested by Brothers (Brothers, 1990).
c) If neonates with autism show no face preference. This has never been tested, and
would be difficult to do so until we have a biological marker for identifying neonates
who will go on to develop autism. But such a finding would refute a general learning
mechanism account.
14
d) If there was strong heritability for ToM/social intelligence2. Again, this has not yet
been tested, but if confirmed this would imply that the ToM deficit in autism occurs for
genetic reasons. This is not implausbile, since autism appears to be strongly heritable
(Bailey et al., 1995; Bolton & Rutter, 1990; Le Couteur et al., 1996). The idea that the
development of theory of mind is under genetic/biological control in the normal case is
consistent with evidence from cross-cultural studies: Normally developing children from
markedly different cultures seem to pass tests of theory of mind at roughly the same ages
(Avis & Harris, 1991).
e) If there was neural specificity to ToM. This could reflect acquired rather than innate
specificity, unless such localization was demonstrable in infants. Quite which part of the
brain might subserve ToM is not yet clear, though from Brothers’ proposal and related
work, candidate regions include the following:
(i) right orbito-frontal cortex, which is active when subjects are thinking about mental
state terms during functional imaging using SPECT (Baron-Cohen et al., 1994);
(ii) left medial frontal cortex, which is active when subjects are drawing inferences about
thoughts whilst being PET scanned (Fletcher et al., 1995; Goel, Grafman, Sadato &
Hallett, 1995). The first PET study to look at adults with autism/Asperger Syndrome
during a ToM task shows that such patients do not show the same patterns of neural
activation when thinking about other minds (Happe et al., 1996).
2
Here, the terms ToM and social intelligence are being used coterminously.
15
(iii) Other candidate regions include the amygdala (Baron-Cohen and Ring, 1994).
Ongoing studies suggest adult patients with acquired amygdala lesions have difficulties
with advanced (or adult level) theory of mind tasks (Stone et al., 1998), and a recent
fMRI study of ToM using the Eyes Task found that whilst normal controls used areas of
the fronto-temporal cortex and the amygdala, high functioning adults with autism or AS
do not activate the amygdala during this task (Baron-Cohen et al., submitted).
(iv) Finally, the demonstration of a joint attention (gaze-monitoring) deficit in autism,
and the role that the superior temporal sulcus in the monkey brain plays in the monitoring
of gaze-direction (Perrett et al., 1985) has led to the idea that the superior temporal sulcus
may be involved in the development of a theory of mind (Baron-Cohen & Ring, 1994).
Conclusions
The available data allow us to interpret the theory of mind deficit in autism as strong
evidence for modularity of social intelligence, but may not justify a rich innate module
such as Leslie’s ToMM. Rather, a ToMM may be the result of both innate and acquired
factors in development. When seen early in development, young children with autism do
not show joint attention or normal preferential attention to faces and eyes (Baron-Cohen
et al., 1996; Charman, Swettenham, Baron-Cohen, Cox & Baird, 1997), which is at least
consistent with a minimalist innate modularity theory (Baron-Cohen, 1995) involving
lower-level social perception mechanisms.
16
There is an outside chance that a general learning mechanism theory could be rescued by
arguing that the normal neonatal preference for attending to faces and eyes is not a sign
of a social-cognitive module but simply a reflection of the general learning mechanism
preferring complexity (faces being arguably more complex stimuli than inanimate
objects). This would seem to be empirically testable in principle, by matching stimuli for
complexity. Johnson and Morton have, in fact, attempted to control for complexity by
matching their stimuli (faces and non-faces) for spatial frequency. It may be that there
are other aspects of stimulus complexity that need to be controlled. Either way, the
minimalist innate modularity theorist would predict that an infant with autism may attend
to equally complex stimuli from the non-social domain but simply not attend
preferentially to the social stmuli. The anti-modular, general leaning mechanism theorist
in contrast would predict that infants with autism would be less interested in any kind of
complex stimuli, whether social or non-social. Such tests are for the future.
17
Table 1: 21 Tests of theory of mind in people with autism
1. the mental-physical distinction (Baron-Cohen, 1989b);
2. understanding of the functions of the mind (ibid);
3. the appearance-reality distinction (ibid),
4. first-order false belief tasks, (Baron-Cohen, Leslie & Frith, 1985; Baron-Cohen, Leslie
& Frith, 1986; Leekam & Perner, 1991; Perner, Frith, Leslie & Leekam, 1989; Reed &
Peterson, 1990; Swettenham, Baron-Cohen, Gomez & Walsh, 1996) (Swettenham, 1996);
5. "seeing leads to knowing" tests (Baron-Cohen & Goodhart, 1994; Leslie & Frith,
1988);
6. tests of recognizing mental state words (like "think", "know", and "imagine") in a
wordlist (Baron-Cohen et al., 1994).
7. Tests of production of the same range of mental state words in their spontaneous
speech (Baron-Cohen et al., 1986; Tager-Flusberg, 1992);
8. Tests of the production of spontaneous pretend play (Baron-Cohen, 1987; Lewis &
Boucher, 1988; Wing & Gould, 1979) (Ungerer et al, 1981);
9. Tests of understanding more complex causes of emotion (such as beliefs) (BaronCohen, 1991a; Baron-Cohen, Spitz & Cross, 1993).
10. Tests of recognizing the eye-region of the face as indicating when a person is
thinking and what a person might want (Baron-Cohen, Campbell, Karmiloff-Smith, Grant
& Walker, 1995; Baron-Cohen & Cross, 1992);
18
11. Tests of being able to monitor their own intentions (Phillips, Baron-Cohen & Rutter,
in press);
12. Tests of deception (Baron-Cohen, 1992; Sodian & Frith, 1992; Yirmiya, SolomonicaLevi & Shulman, 1996);
13. Tests of understanding metaphor, sarcasm, and irony;
14. Tests of pragmatics in their speech (Baron-Cohen, 1988; Tager-Flusberg, 1993);
15.Tests of recognition of violations of pragmatic rules (Surian, Baron-Cohen & Van der
Lely, 1996);
16. Tests of imagination (Scott & Baron-Cohen, 1996).
17. Performance on ToM tasks by children with autism has been found to correlate with
real-life social skills, as measured by a modified version of the Vineland Adaptive
Behaviour Scale (Frith, Happe & Siddons, 1994).
18. A small minority of children or adults with autism pass first-order false belief tests.
However, these individuals often fail second-order false belief tests (Baron-Cohen,
1989c).This suggests there can be a specific developmental delay in theory of mind at a
number of different points.
19. Some individuals with autism who are very high functioning (in terms of IQ and
language level), and who are usually adults, may pass even second-order (Bowler, 1992;
Happe, 1993; Ozonoff, Pennington & Rogers, 1991). Those who can pass second-order
tests however may have difficulties in understanding stories in which characters are
motivated by complex mental states such as bluff and double bluff (Happe, 1994).
20.Such able subjects have difficulties in decoding complex mental states from the
expression in the eye-region of the face (Baron-Cohen, Jolliffe, Mortimore & Robertson,
19
1997; Baron-Cohen, Wheelwright & Jolliffe, 1997). Again, this suggests that the
mindreading deficit may only be detectable in such high-level, older subjects using
sensitive, age-appropriate tests.
21. Parents of children with AS, at least one of whom presumably carries the genes for
AS, also show difficulties in attributing mental states when just the eye-region of the face
is available (Baron-Cohen & Hammer, 1997).
20
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